Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hartfield (Hartfield), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hartfield recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on July 18, 2024.

Customer alleges that an investment recommendations were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Austin Dutton (Dutton), previously associated with American Trust Investment Services, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Dutton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on July 18, 2024.

Breach of contract, breach of fiduciary duty, failure to supervise and negligence and violation of reg bi.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Germain (Germain), currently associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Germain recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 19, 2024.

The client expressed grievances with the Silicon Valley Bank bond they purchased in November 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Martinelli (Martinelli), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinelli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Divalerio (Divalerio), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Divalerio recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $35,000,000.00 on July 17, 2024.

Claimant alleges, inter alia, that he received incorrect advice regarding the sale of Vertex stock pursuant to Rule 144.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Cooper (Cooper), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cooper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on July 18, 2024.

Alleged fraud and breach of fiduciary duty by failing to disclose information regarding Plaintiff’s withdrawals from trust account versus return on investments, and overconcentration / unsuitability of investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gene Griffin (Griffin), currently associated with Cfd Investments, INC., has at least one disclosable event. These events include one customer complaint, alleging that Griffin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $71,000.00 on July 20, 2024.

Customer made an unsolicited purchase of PTON stock. Customer alleges that he also requested a stop loss to be put in place at the time of that transaction, however that stop-loss transaction was never placed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Hirthler (Hirthler), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hirthler recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00 on July 18, 2024.

Customer alleges failure to follow instructions regarding option trades and poor performance with respect to customer’s managed portfolio. Time period 2019-2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mckinzie Valverdy (Valverdy), currently associated with Puente Servicios Financieros LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valverdy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 24, 2024.

Client alleges Mckinzie Valverdy failed to follow instructions in July 2023 related to the purchase of two positions.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dauphinee (Dauphinee), previously associated with Portsmouth Financial Services, has at least one disclosable event. These events include one customer complaint, alleging that Dauphinee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on July 25, 2024.

Claim states Agent recommended an investment strategy that was not in Claimants best interest.

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